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Securities and Exchange Commission

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Financial Reform: House Lawmakers Weighs Limits On Hedge Funds, Insurers

AP | Posted 10.06.2009 | Business

Read More: Sec, Securities and Exchange Commission, Hedge Funds, Barney Frank, House Financial Services Committee, Financial Reform, Business News

WASHINGTON — House lawmakers crafting legislation to overhaul the system of financial regulation are focusing on the key elements of investor pr...

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SEC Watchdog Pushes For Sweeping Changes After Madoff Failure

AP | MARCY GORDON | Posted 09.30.2009 | Business

Read More: Madoff SEC, Bernard Madoff, Sec, Securities and Exchange Commission, David Kotz, Business News

WASHINGTON — The watchdog of the Securities and Exchange Commission has recommended a new system for handling the thousands of tips and complain...

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Bank Of America Trial With SEC Coming

AP | MARCY GORDON | Posted 11.22.2009 | Business

Read More: Merrill Lynch, Bank of America, Sec, Edolphus Towns, Ken Lewis, Bofa-Merrill-Lynch-Bonuses, Bofa, Securities and Exchange Commission, Business News

WASHINGTON — Bank of America Corp. now faces a trial with the Securities and Exchange Commission over billions in bonuses paid at Merrill Lynch,...

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Judge Jed Rakoff Takes On Bank Of America, SEC In Merrill Ruling

New York Times | ZACHERY KOUWE | Posted 11.15.2009 | New York

Read More: Merrill Lynch Bonuses, Sec, Judge Rakoff, Securities and Exchange Commission, Judge Jed Rakoff, Merrill Bonuses, New York News

As President Obama traveled to Wall Street on Monday and chided bankers for their recklessness, across town a federal judge issued a far sharper rebuk...

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SEC Officials Promise Changes After Madoff Failure

AP | By MARCY GORDON | Posted 11.10.2009 | Business

Read More: Sec, Securities and Exchange Commission, Madoff, Mary Schapiro, Business News

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Family of SEC Official Whose Unit Got Madoff Tip Lost $2 Million In Scam

bloomberg.com | David Scheer and Joshua Gallu | Posted 10.23.2009 | Business

Read More: David Kotz, Madoff, Madoff Scam, Sec, Securities and Exchange Commission, Bernie Madoff, Business News

Sept. 7 (Bloomberg) -- Family members of a U.S. Securities and Exchange Commission enforcement official, whose unit got a tip in 2005 that Bernard Mad...

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SEC Mishandled Multiple Madoff Probes, Report Finds

AP | MARCY GORDON | Posted 10.18.2009 | Business

Read More: Bernard Madoff, Securities and Exchange Commission, Sec Report, Madoff, Bernard Madoff SEC, Business News

WASHINGTON — Pushing past years of "red flags," investigators at the Securities and Exchange Commission bungled their probes of Bernard Madoff s...

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Judge Jed S. Rakoff, A Legal Maverick

New York Times | LOUISE STORY | Posted 09.24.2009 | New York

Read More: Merrill Lynch Case, Merrill Lynch Bonuses, Merrill Lynch, Merrill Payouts, Merrill Lynch Payouts, Jed Rakoff, Sec, Judge Jed Rakoff, Securities and Exchange Commission, Merill Lynch, New York News

Jed S. Rakoff, a United States District Court judge in Manhattan, is not one to rubber-stamp administrative decisions. Known as a maverick in legal c...

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Letting the Banking Rats Out of the Bag

Robert Scheer | Posted 09.11.2009 | Business

Why has it been left to one stellar judge to sound the alarm on Bank of America and Merrill Lynch, and why is Congress and the Obama administration looking the other way?

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SEC Moves Closer To Banning Flash Orders

AP | STEPHEN BERNARD | Posted 09.03.2009 | Business

Read More: High-Frequency Trading, Sec, Flash Orders, Mary Schapiro, Securities and Exchange Commission, Nasdaq, Business News

NEW YORK — The Securities and Exchange Commission is moving toward banning a trading practice that gives some brokerages a split-second advantag...

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SEC Acted Properly In Stanford Investigation: Watchdog

AP | MARCY GORDON | Posted 08.29.2009 | Business

Read More: Sec, Stanford Financial, R. Allen Stanford, Inspector General David Kotz, Stanford, Securities and Exchange Commission, Mary Schapiro, Business News

WASHINGTON — The Securities and Exchange Commission had been actively investigating the banking business of billionaire R. Allen Stanford for mo...

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Policymakers Would Be "Wise To Let This Pecora Part 2 Get On With Its Mission"

The New York Times | Rob Cox and Richard Beales | Posted 08.15.2009 | Business

Read More: Sec, Securities and Exchange Commission, New Pecora Commission, SEC Reform, Pecora Commision, Business News

It's too early for a Securities and Exchange Commission Preservation Society. Yet that seems top of the agenda for the Investors' Working Group, an in...

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Madoff Scandal: SEC Official Raised Concerns In 2004

washingtonpost.com | Zachary A. Goldfarb | Posted 08.02.2009 | Business

Read More: Madoff Sentence, Madoff SEC, Securities and Exchange Commission, Genevievette Walker-Lightfoot, Bernie Madoff Ponzi Scheme, Madoff, Business News

An investigator at the Securities and Exchange Commission warned superiors as far back as 2004 about irregularities at Bernard L. Madoff's financial m...

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The Return of Gordon Gekko

Dan Dorfman | Posted 08.01.2009 | Business

Read More: JP Morgan Chase, Gordon Gekko, Goldman Sachs, Wall Street Bailout, Suntrust-Banks, Wall Street, Wells Fargo, Bank of America, Financial Crisis, Bernard Madoff, Securities and Exchange Commission, Citigroup, Business News

Wall Street speculation has it that some investors may have been privy to government actions involving a number of these banks at the outset of the financial crisis or to their financial results.

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On the Matter of the M.B.A. Oath

Robert Teitelman | Posted 07.24.2009 | Business

Read More: College Students, M.B.A., Jack Welch, Financial TImes, Enron, Ethics, Michael Skapinker, Harvard Business School, Securities and Exchange Commission, Capitalism, Journalism, Business News

The real-life goal of management is to create wealth. The only MBA oath that makes sense should resemble that of doctors: do no harm.

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Congress Considering Banning Some TARP Execs From Public Companies

HuffingtonPost.com | Jeff Muskus | Posted 07.20.2009 | Business

Read More: Tarp, Jon Cuneo, Countrywide, Nell Minow, Lifetime Ban, Barney Frank, Financial Crisis, Sec, Alan Grayson, Harvey Pitt, Securities and Exchange Commission, John Coffee, Accountability, Business News

The White House unveiled the outlines of its new ground rules for the financial game Wednesday, but seemed resigned to leave the same failed players o...

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Rankings Offer Congress Insider View of Federal Agencies

Max Stier | Posted 07.18.2009 | Politics

Read More: Federal Workforce, Federal-Agencies, Federal Government, Office of Management and Budget, President Obama, Office of Personnel Management, Max Stier, Peter Orszag, Securities and Exchange Commission, Congress, Politics News

If our legislative leaders really want a clearer picture of what's going on within the executive branch, they would be wise to listen closely to the opinions of government employees.

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SEC Chair Mary Schapiro's Previous Agency Was Soft On Enforcement: Report

Legal Times | Posted 07.05.2009 | Business

Read More: FINRA Enforcement, Sec, Financial Industry Regulatory Authority, Mary Schapiro, Mary Schapiro Sec, Schapiro Enforcement, Securities and Exchange Commission, Finra, SEC Chair, Business News

An analysis conducted out of Sutherland Asbill & Brennan's Washington office shows the Financial Industry Regulatory Authority - the independent secur...

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Former SEC Chair Cox Undermined Enforcement Efforts

Washington Post | Zachary A. Goldfarb | Posted 07.01.2009 | Politics

Read More: Sec, Sec Enforcement, Chris Cox, Christopher Cox, SEC Policy, Securities and Exchange Commission, SEC Chair, Politics News

The five enforcement officials caught a morning Acela train bound for Washington. Based at the New York office of the Securities and Exchange Commissi...

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Battle of the Regulators

Ron S. Geffner | Posted 06.26.2009 | Business

Read More: U.S. Economy, Sec, Securities and Exchange Commission, Recession, Economy, Economic Crisis, Business News

There is no regulatory agency nor are any of our elected officials without blood on their hands. Each has contributed to the economic crisis.

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SEC Head Fights Obama Financial Watchdog Plan

AP | MARCY GORDON | Posted 06.20.2009 | Business

Read More: Sec, Banking Regulation, Mary Schapiro, Obama Financial Regulation, Federal Reserve, Timothy Geithner, Ben Bernanke, Securities and Exchange Commission, Consumer Protection, Business News

WASHINGTON — The head of the Securities and Exchange Commission is objecting to a plan being weighed by the Obama administration to create a new...

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SEC May Lose Power in Regulatory Overhaul

bloomberg.com | Robert Schmidt and Jesse Westbrook | Posted 06.20.2009 | Business

Read More: Sec, Mary Schapiro, Federal Reserve, Regulation, Ben Bernanke, Timothy Geithner, Securities and Exchange Commission, Bank Regulation, Financial Regulation, Business News

May 20 (Bloomberg) -- The Obama administration may call for stripping the Securities and Exchange Commission of some of its powers under a regulatory ...

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Watchdog Digs Into Conduct At SEC

Washington Post | Zachary A. Goldfarb | Posted 06.16.2009 | Business

Read More: Securities and Exchange Commission, SEC Insider Trading, Sec, SEC Influence, SEC Watchdog, Business News

A Securities and Exchange Commission official attempted "to intimidate and influence" a family member's broker on multiple occasions by invoking her p...

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SEC Attorneys Accused Of Insider Trading

CBS News | Posted 06.14.2009 | Business

Read More: SEC Insider Trading, Sec, SEC Attorneys, SEC Insider Trading Health Care Company, Securities and Exchange Commission, Business News

CBS News has learned that two attorneys at the Securities and Exchange Commission (SEC) are under "active" criminal investigation by the FBI for tradi...

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